Form 8.3 - ARRIS GROUP INC

Form 8.3 - ARRIS GROUP INC

BARCLAYS PLC

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a)   Full name of discloser:   Barclays PLC.
     
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose ARRIS GROUP INC
  relevant securities this form relates:  
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
  offeror/offeree:  
(e) Date position held/dealing undertaken: 29 April 2015
(f) In addition to the company in 1(c) above, is the discloser making YES:
  disclosures in respect of any other party to the offer? PACE PLC

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:       ORD
Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 4,292 0.00% 214,157 0.15%
           
(2) Cash-settled derivatives:
192,731 0.13% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 48,200 0.03% 44,400 0.03%
           
 
TOTAL: 245,223 0.17% 258,557 0.18%

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 5 34.6897 USD
ORD Purchase 7 34.6500 USD
ORD Purchase 26 34.6900 USD
ORD Purchase 100 34.6800 USD
ORD Purchase 100 34.6850 USD
ORD Purchase 188 34.7060 USD
ORD Purchase 192 34.7104 USD
ORD Purchase 200 34.6050 USD
ORD Purchase 200 34.7150 USD
ORD Purchase 200 34.7850 USD
ORD Purchase 300 34.4563 USD
ORD Purchase 400 34.7222 USD
ORD Purchase 500 34.5492 USD
ORD Purchase 608 34.7082 USD
ORD Purchase 891 34.7075 USD
ORD Purchase 1,063 34.6555 USD
ORD Purchase 1,087 34.7087 USD
ORD Purchase 1,098 34.7275 USD
ORD Purchase 1,410 34.7199 USD
ORD Purchase 1,788 34.6961 USD
ORD Purchase 3,000 34.5597 USD
ORD Purchase 5,200 34.6472 USD
ORD Purchase 5,900 34.5705 USD
ORD Purchase 6,150 34.7669 USD
ORD Purchase 11,800 34.9900 USD
ORD Purchase 12,162 34.6802 USD
ORD Purchase 12,598 34.6801 USD
ORD Purchase 18,036 34.6811 USD
ORD Purchase 32,600 34.6136 USD
ORD Purchase 33,340 34.7064 USD
ORD Purchase 136,842 34.6699 USD
ORD Sale 100 34.6800 USD
ORD Sale 100 34.6850 USD
ORD Sale 144 34.6242 USD
ORD Sale 200 34.3800 USD
ORD Sale 200 34.6050 USD
ORD Sale 200 34.6100 USD
ORD Sale 300 34.4563 USD
ORD Sale 300 34.6300 USD
ORD Sale 300 34.7033 USD
ORD Sale 400 34.7175 USD
ORD Sale 500 34.7180 USD
ORD Sale 600 34.6500 USD
ORD Sale 600 34.6633 USD
ORD Sale 800 34.7499 USD
ORD Sale 900 34.5333 USD
ORD Sale 989 34.6537 USD
ORD Sale 1,000 34.5840 USD
ORD Sale 1,300 34.5038 USD
ORD Sale 1,400 34.5600 USD
ORD Sale 1,410 34.7199 USD
ORD Sale 1,556 34.5697 USD
ORD Sale 1,600 34.6306 USD
ORD Sale 2,000 34.6105 USD
ORD Sale 2,300 34.6786 USD
ORD Sale 2,375 34.7755 USD
ORD Sale 2,628 34.6819 USD
ORD Sale 3,689 34.7298 USD
ORD Sale 4,200 34.5973 USD
ORD Sale 4,400 34.5095 USD
ORD Sale 5,000 34.6162 USD
ORD Sale 5,783 34.7063 USD
ORD Sale 5,900 34.6802 USD
ORD Sale 6,300 34.6080 USD
ORD Sale 6,480 34.6528 USD
ORD Sale 6,811 34.6072 USD
ORD Sale 7,296 34.7191 USD
ORD Sale 7,616 34.6338 USD
ORD Sale 7,900 34.5655 USD
ORD Sale 8,300 34.7140 USD
ORD Sale 8,506 34.7684 USD
ORD Sale 10,800 34.6116 USD
ORD Sale 11,800 34.9900 USD
ORD Sale 12,380 34.6801 USD
ORD Sale 16,337 34.6113 USD
ORD Sale 16,500 34.6313 USD
ORD Sale 20,858 34.7203 USD
ORD Sale 26,300 34.6150 USD
ORD Sale 72,933 34.7113 USD

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Expires 04/11/2016 Long 11,800 34.5993 USD

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
ORD Call Options Purchasing 1,000 37.5 USD American 15 May 2015 0.2500 USD
ORD Put Options Purchasing 100 32.5 USD American 15 May 2015 0.5100 USD
ORD Put Options Selling 100 30 USD American 15 May 2015 0.1100 USD
ORD Put Options Selling 300 35 USD American 15 May 2015 1.4500 USD

(ii) Exercise

Class of relevant security   Product description

e.g. call option

  Exercising/ exercised against   Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if applicable)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   YES
Date of disclosure: 30 Apr 2015
Contact name: Jay Supaya
Telephone number: 020 7773 0635

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

143221.01

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose ARRIS GROUP INC
relevant securities this from relates:  

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
ORD Put Options Purchased -2,100 27.5000 American 15 May 2015
ORD Put Options Purchased -2,100 27.5000 American 21 Aug 2015
ORD Put Options Purchased -900 30.0000 American 21 Aug 2015
ORD Put Options Purchased -100 32.5000 American 15 May 2015
ORD Put Options Written 2,100 25.0000 American 15 May 2015
ORD Put Options Written 1,800 25.0000 American 21 Aug 2015
ORD Put Options Written 400 30.0000 American 15 May 2015
ORD Put Options Written 400 35.0000 American 15 May 2015
ORD Put Options Written 4,200 37.5000 American 15 May 2015
ORD Call Options Purchased 700 25.0000 American 21 Aug 2015
ORD Call Options Purchased 13,500 30.0000 American 15 May 2015
ORD Call Options Purchased 100 30.0000 American 20 Nov 2015
ORD Call Options Purchased 1,500 32.5000 American 15 May 2015
ORD Call Options Purchased 300 32.5000 American 19 Jun 2015
ORD Call Options Purchased 1,800 35.0000 American 21 Aug 2015
ORD Call Options Purchased 100 35.0000 American 20 Nov 2015
ORD Call Options Purchased 21,300 37.5000 American 15 May 2015
ORD Call Options Written -500 22.5000 American 15 May 2015
ORD Call Options Written -100 25.0000 American 15 May 2015
ORD Call Options Written -600 27.5000 American 15 May 2015
ORD Call Options Written -900 32.5000 American 21 Aug 2015
ORD Call Options Written -26,400 35.0000 American 15 May 2015
ORD Call Options Written -200 35.0000 American 19 Jun 2015
ORD Call Options Written -1,400 37.5000 American 19 Jun 2015
ORD Call Options Written -5,300 40.0000 American 15 May 2015
ORD Call Options Written -3,800 40.0000 American 19 Jun 2015

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Companies

Barclays (BARC)
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